Stephen Anikewich

Stephen Anikewich is Head of U.S. Compliance for NICE Actimize and responsible for business development of the institutional risk platform; he provides consulting support to help Actimize clients meet their compliance and business needs. He is an expert in the capital markets compliance industry, with more than 30 years of compliance experience and a passion for the investment banking business. Prior to joining Actimize, Mr. Anikewich worked as an independent consultant for investment banks, law firms, enterprise risk management vendors and other financial institutions. He was previously a Managing Director and Chief Compliance Officer at UBS Investment Bank.

three arrows in an archery target

Suitability Surveillance and Controls Despite how many risk and compliance eyes an investment bank has inspecting client activity, when it comes to managing risk, it's impossible to review each and every investment recommendation or transaction by a simple eyeballing of trade records. And understanding any recommendation or transaction in the context of a client’s investment profile is both a critical and mandatory...

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